SR-FINRA-2014-006
Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPPs and REITs
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the provisions addressing per share estimated valuations for unlisted direct participation program and real estate investment trust securities.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 17.36 MB | |
| Federal Register Notice | PDF - 221.54 KB | |
| Extension No. 1 | PDF - 53.29 KB | |
| Letter to the SEC | PDF - 38.48 KB | |
| Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 199.99 KB | |
| Second Letter to the SEC | PDF - 35.69 KB | |
| Response to Comments | PDF - 858.87 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 48.99 KB | |
| Notice of Filing of Amendment No. 1 | PDF - 201.52 KB | |
| Extension No. 2 | PDF - 54.95 KB | |
| Response to Comments on Amendment No. 1 | PDF - 113.31 KB | |
| Approval Order | PDF - 187.54 KB |